SEC Form 4 · accession 0001140361-15-030009
CARTERS INC · CRI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian Lynch
Officer — President, Carter's, Inc.
Period of report
Aug 3, 2015
Accepted (ET)
Aug 5, 2015 · 5:55 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001060822
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 3, 2015 | M | 6,000 | $14.48 | A | 78,168 | D | |
| Common StockF1 | Aug 3, 2015 | S | 6,000 | $100.76 | D | 72,168 | D | |
| Common Stock | Aug 3, 2015 | M | 4,750 | $18.14 | A | 76,918 | D | |
| Common StockF1 | Aug 3, 2015 | S | 4,750 | $100.76 | D | 72,168 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Purchase)F2 | $14.48 | Aug 3, 2015 | M | 6,000 | A | — | May 8, 2018 | Common Stock | 6,000 | 0 | D |
| Employee Stock Option (Right to Purchase)F2 | $18.14 | Aug 3, 2015 | M | 4,750 | A | — | Mar 12, 2019 | Common Stock | 4,750 | 15,250 | D |
Explanation of responses
- F1This is a weighted average price. The shares were sold in multiple trade executions at prices ranging from $99.80 to $102.33, inclusive. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price.
- F2These options are all exercisable.